The following test script should be completed by all FINRA member firms that will be submitting TRACE trade reports directly to FINRA. If your firm will be using a service bureau to report, or having your clearing firm report on your behalf, you must instead make sure that your service bureau/clearing firm has successfully completed the test. Firms performing the test should submit their
OATS Basics PresentationFor information, please refer to our Order Audit Trail System (OATS)
OATS Phase III Road Show Presentation - OATS Basics
(PDF 134 KB).NASD Notice to Members06-15 SEC Approves Expansion of NASD's Exemptive Authority under the OATS Rules; NASD Provides Additional Guidance Regarding Exemptive Relief and Encourages Exempted and Other Small
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FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Continuing Education Planning
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Notice of Contested Election and Ballots for Small Firm NAC Member Seat
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FINRA to Require Electronic Submission of Annual Audit Reports
